Office of Supervisory Jurisdiction (OSJ)

Definition - What does Office of Supervisory Jurisdiction (OSJ) mean?

Office of Supervisory Jurisdiction (OSJ) is an office identified by the broker dealer as having supervisory responsibilities for agents and has final approval of new accounts, makes markets or structures offerings.

Testopedia explains Office of Supervisory Jurisdiction (OSJ)

A broker dealer may have several types of offices in its organizational structure. Each type of office is allowed to operate in a designated capacity depending on the type of office it is. An office of supervisory jurisdiction is allowed to operate at a very high level. It must have a resident principal to oversee its activities and an OSJ may supervise branch offices and satellite offices.

Connect with us

Testopedia on Linkedin
Testopedia on Linkedin
Tweat www.testopedia.com
"Testopedia" on Twitter


'@Testopedia'
Sign up for Testopedia's Free Newsletter!